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Risk Control Group Analyst, Non-Market Risk (Sales & Trading), Hong Kong
February 4, 2020
The Risk Control Group (RCG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, information security and supplier risk programs by performing in-depth assessments and implementing consistent programmatic coverage globally for Fixed Income, Commodities, Bank Resource Management and Institutional Equity. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the firm, as well as adherence to internal standards, controls and policies. RCG members are part of the Sales & Trading Non-Market Risk structure.
The RCG team fulfills a front office advisory role as the first line of defense. The scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues. RCG employees act as a delegate for supervisors and other business owners. RCG is looking for an analyst to support projects and day-to-day tasks as applicable.
Key Roles and Responsibilities
Servicing the Sales and traders to apply the risk control framework.
Review of system entitlements and analyzing appropriate access.
Providing local support and oversight of outsourced processes and ensuring data accuracy.
Manage escalations on Non-Market Abuse (NMA) trade surveillance.
Manage and deliver region specific and firm-wide Risk change programs.
Build strong relationships with Business, Compliance and Technology stakeholders across the region to drive continuous improvement on Risk governance.
Promote risk education and awareness and provide management summaries as appropriate
Engaging with Sales and Trading contacts and other stakeholders to build awareness of RCG's continued focus on proactive and effective surveillance and supervision.
Key skills and experience requirements:
IT or Risk Management Professional with 3 years of experience in Risk, Equity Trade surveillance, Information Security or similar subject-matter
Excellent verbal and written skills with ability to create quality written procedures that are clear and comprehensive.
Strong analytic and problem solving/process improvement skills; ability to learn quickly and solve poorly defined problems
Very strong Excel skills; coding capabilities (Macro's, VBA etc.) is very advantageous.
Outstanding interpersonal skills with the ability to work effectively with all levels of the organization with excellent influencing and negotiation skills.
Knowledge of Software development lifecycle and change management either through IT project management or developer/quality assurance experience.
Strong organizational skills and an ability to manage multiple demands and changing priorities.
Knowledge of Sales and Trading products such as Cash, SWAPs, Derivatives and Bonds is advantageous
Additional language advantageous e.g. Japanese
General interest/awareness of regulations and the banking governing bodies